1. The Nature and Role of Theory in Scientific
Research
Lecture by
Dr. Charles R. Hildreth
Palmer School of Library and Information
Science
September 7, 2006
The primary goal of science is to formulate and affirm theories that enhance our
understanding of the social and natural worlds in which we live.” (CRH)

2. SCIENCE ?
RESEARCH ?
SCIENTIFIC RESEARCH ?
(The Process/Method)
SCIENTIFIC KNOWLEDGE ?

3. SCIENCE AS DATA
GATHERING ?
Observe/Look About
Measure
Gather Empirical Data
Report Data Findings
(Does this sum it up?)

4. SCIENTIFIC RESEARCH IS NOT:
1. Not mere information gathering (At the library,
in the encyclopedia, on the Internet)
2. Not mere observation, however precise
3. Not transporting known facts via a paper
4. Not rummaging through files and archives for
information
5. Not a propaganda word to support unscientific claims

5. SCIENCE, A WAY OF KNOWING
Preamble
All those involved with science teaching and learning should have
a common, accurate view of the nature of science. Science is
characterized by the systematic gathering of information through
various forms of direct and indirect observations and the testing
of this information by methods including, but not limited to,
experimentation. The principal product of science is knowledge in
the form of naturalistic concepts and the laws and theories related
to those concepts. (www.nsta.org)

6. “THEORY”
Popular Usage:
- a vague and fuzzy sort of fact
- a mere quess or hunch as to why something happens
- tentative, uncertain, unproven
Scientific Usage:
- an explanation of a natural phenomenon built up logically
from numerous testable observations and well-tested
hypotheses
- a well-established, broadly accepted complex of ideas that
explain a particular phenomenon

7. WHAT SCIENTIFIC RESEARCH IS:
(DISTINGUISHING FEATURES)
“Research is the systematic process of collecting and
analyzing information (data) in order to increase our
understanding of the phenomenon about which we are
concerned or interested.” (Leedy & Ormrod, 2001)

8. Research originates with a question or problem.
Research requires a clear articulation of a goal.
Research follows a specific plan of procedure.
Research divides the problem into sub-problems.
Research is guided by the specific research problem, question, or
hypothesis.
Research accepts certain critical assumptions.
Research requires the collection and interpretation of data in an
attempt to resolve the problem that initiated the research.
Research is, by its nature, cyclical, or helical.

10. THE SCIENTIFIC METHOD
“Little Science”
A Series of Logical Steps?
1. State the problem
2. Formulate the hypothesis
3. Design the survey or experiment
4. Make observations/collect data
5. Interpret the data
6. Draw conclusions
7. Suggest additional research
“The scientific method is really a series of intellectual steps. It is
not so much the actual techniques whereby the research is
performed as it is the thought process whereby hypotheses are
formed, tested, and verified (or not verified).” (Sirkin, 1995)

11. RESEARCH AIMS & APPROACHES
Descriptive Research
Exploratory/Inductive Research
Explanatory Research
Evaluation Research

12. RESEARCH AIMS & APPROACHES
Descriptive Research
The “What, Where, How often, How much” questions
are typical. Data collected is usually quantitative data.
Measurement, sampling, and accurate data reporting
are key concerns here. Valid and reliable observational
and measurement instruments and techniques are
critical.
Exploratory/Inductive Research
“What is going on here?” Search for meaning in actions
and activities. Attempts to dig deeper than surface facts,
to discover possible interpretations or explanations. Key
is investigating without being influenced by
preconceptions or expectations. Frequently involves
qualitative methods and qualitative data.

13. RESEARCH AIMS & APPROACHES
Explanatory Research
Aims to identify causes and effects of phenomena that will
explain behavior or selected phenomena with a high
degree of probability, and support predictions about this
behavior or phenomena. To establish “causal
connections” between variables, experiments and/or
surveys, that is, quantitative methods, are used.
Evaluation Research
Like, explanatory research, deals with effects and their
causes. But, typically investigates the implementation
of and actual effects of social, political, or educational
programs and policies.

14. RESEARCH & DATA COLLECTION METHODS
QUANTITATIVE
Surveys (questionnaires, polls, interviews)
Experiments (laboratory, field)
Monitoring, obtrusive and unobtrusive
(computer logging, video)
Historical research and data mining

15. RESEARCH & DATA COLLECTION METHODS
QUALITATIVE
Case studies
Participant observation
Intensive interviewing
Focus group interviews
Verbal protocol analysis
Ethnography
Phenomenological research
Grounded theory research

16. KINDS OF SCIENTIFIC KNOWLEDGE
Empirical Data Facts
Hypotheses
Theories
“Laws”

17. KEY DEFINITIONS-1
Hypothesis:
“A hypothesis is a logical supposition, a reasonable guess, an educated conjecture. It
provides a tentative explanation for a phenomenon under investigation.” (Leedy)
“To scientists, the phrase "the theory of ..." signals a particularly well-tested idea. A
hypothesis is an idea or suggestion that has been put forward to explain a set of
observations.” (http://www2.slac.stanford.edu/vvc/theory/modeltheory.html)
“A hypothesis is a tentative theory that has not yet been tested. Typically, a scientist devises
a hypothesis and then sees if it "holds water" by testing it against available data. If the
hypothesis does hold water, the scientist declares it to be a theory.”
(http://home.xnet.com/~blatura/skep_1.html)
“Hypothesis: This is an educated guess based upon observation. It is a rational explanation
of a single event or phenomenon based upon what is observed, but which has not been
proved. Most hypotheses can be supported or refuted by experimentation or continued
observation.” (http://wilstar.com/theories.htm)

18. KEY DEFINITIONS-2
Theory:
“Over time, as particular hypotheses are supported by a growing body of data, they evolve
into theories. A theory is an organized body of concepts and principles intended to explain a
particular phenomenon.”
“Today, any set of scientific ideas referred to as "the theory of ..." is a well-tested and well-
established understanding of an underlying mechanism or process. Such a theory can never
be proved to be complete and final -- that is why we no longer call it a "law."
(http://www2.slac.stanford.edu/vvc/theory/modeltheory.html)
“A theory is a scientific explanation of an observed phenomenon. Unlike laws, theories
actually explain why things are the way they are. Theories are what science is for.”
(http://www.geocities.com/Tokyo/Temple/9917/evolution/theory.html)
“Well evolution is a theory. It is also a fact. And facts and theories are different things, not
rungs in a hierarchy of increasing certainty. Facts are the world's data. Theories are
structures of ideas that explain and interpret facts.” (Stephen J. Gould)
http://www.talkorigins.org/faqs/evolution-fact.html

19. Theory (continued):
“In popular usage, a theory is just a vague and fuzzy sort of fact. But to a scientist a theory
is a conceptual framework that explains existing facts and predicts new ones.”
(http://home.xnet.com/~blatura/skep_1.html)
“Theory: A theory is more like a scientific law than a hypothesis. A theory is an
explanation of a set of related observations or events based upon proven hypotheses and
verified multiple times by detached groups of researchers. One scientist cannot create a
theory; he can only create a hypothesis.” (http://wilstar.com/theories.htm)
“An explanation for an observation or series of observations that is substantiated by a
considerable body of evidence” (Krimsley, 1995). “… a law describes what nature does
under certain conditions, and will predict what will happen as long as those conditions are
met. A theory explains how nature works.” (
http://science.kennesaw.edu/~rmatson/Biol%203380/3380theory.html)

20. Wickipedia on “Theory”
(http://en.wikipedia.org/wiki/Theory)
In common usage a theory is often viewed as little more
than a guess or a hypothesis. But in science and
generally in academic usage, a theory is much more
than that. A theory is an established paradigm that
explains all or much of the data we have and offers
valid predictions that can be tested. In science, a theory
is never considered fact or infallible, because we can
never assume we know all there is to know. Instead,
theories remain standing until they are disproven, at
which point they are thrown out altogether or modified
to fit the additional data.

21. Wickipedia on “Theory” (Cont.)
Theories start out with empirical observations such as
“sometimes water turns into ice.” At some point, there is a
need or curiosity to find out why this is, which leads to a
theoretical/scientific phase. In scientific theories, this then
leads to research, in combination with auxiliary and other
hypotheses (see scientific method), which may then
eventually lead to a theory. Some scientific theories (such as
the theory of gravity) are so widely accepted that they are
often seen as laws. This, however, rests on a mistaken
assumption of what theories and laws are. Theories and laws
are not rungs in a ladder of truth, but different sets of data. A
law is a general statement based on observations.

22. KEY DEFINITIONS-3
Laws:
“A scientific law is a description of an observed phenomenon. Kepler's Laws of Planetary
Motion are a good example. Those laws describe the motions of planets. But they do not
explain why they are that way. If all scientists ever did was to formulate scientific laws,
then the universe would be very well-described, but still unexplained and very mysterious.”
(http://www.geocities.com/Tokyo/Temple/9917/evolution/theory.html)
“Scientific Law: This is a statement of fact meant to explain, in concise terms, an action or
set of actions. It is generally accepted to be true and universal, and can sometimes be
expressed in terms of a single mathematical equation. Scientific laws are similar to
mathematical postulates. They don’t really need any complex external proofs; they are
accepted at face value based upon the fact that they have always been observed to be true.”
(http://wilstar.com/theories.htm)
“A set of observed regularities expressed in a concise verbal or mathematical statement.”
(Krimsley, 1995).
“Regardless of which definitions one uses to distinguish between a law and a theory,
scientists would agree that a theory is NOT a "transitory law, a law in waiting". There is
NO hierarchy being implied by scientists who use these words. That is, a law is neither
"better than" nor "above" a theory. From this view, laws and theories "do" different things
and have different roles to play in science.” (
http://science.kennesaw.edu/~rmatson/Biol%203380/3380theory.html)

23. EXAMPLES OF SCIENTIFIC THEORIES
Newton's theory of gravity
Newton’s “laws” of motion
The theory of evolution by natural selection
Einstein's theory of gravity
Einstein’s theories of general and specific relativity
Mendel's law of inheritance
A chaos theory
Pythagoras's theorem
Early psychoanalytic theory
Geology: Plate Tectonics
The big bang
The Jungian theory of the unconscious mind
Germ theory of disease
Rational choice theory
Deterrence theory
Genetic theories of intelligence or personality

24. ROLES OF THEORY IN SCIENCE
Explanatory
Predictive
Generative
Stimulate research
Guide research
Aid data interpretation
“Theories do not provide the answers to the questions we
pose as topics for research. Instead, theories suggest the
areas on which we should focus and the propositions
(hypotheses) we should consider for a test.” (Schutt, 2001)
Falsifiability: Always tentative, never final, absolute
The product of insight that produces questions more than

25. INDUCTIVE & DEDUCTIVE RESEARCH
STRATEGIES
(Diagram from Schutt, 2001, p. 39)

26. INDUCTIVE & DEDUCTIVE RESEARCH STRATEGIES
Research, explicitly or implicitly, attempts to connect theory with
empirical data. This may involve starting with a theory-inspired
hypothesis and then testing it in empirical research such as an
experiment. This is the process of “deductive research.”
Alternatively, the connection between theory and data may be
suggested by careful observations followed by empirical
generalizations that lead to the development of a theory that
explains characteristics or patterns observed in the data. This is the
process of “inductive research.”